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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
Note: The totals include only those entries matched to a parent company. The industry designation is the primary one for the parent's operations overall. The totals are adjusted to account for the fact that each parent's entries may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. They are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the individual records list below.
Top 10 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.

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CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
INTL FCStone Markets, LLCStoneX Groupinvestor protection violation2015CFTC$200,000
FCStone, LLCStoneX Groupinvestor protection violation2015CFTC$140,000
Global Futures & Forex, Ltd.StoneX Groupinvestor protection violation2014CFTC$200,000
FCStone LLCStoneX Groupinvestor protection violation2013CFTC$1,500,000
FCStone, LLC and Commodity Operations Inc.StoneX Groupinvestor protection violation2012CFTC$260,000
INTL FCStone Financial Inc.StoneX Groupinvestor protection violation2017CFTC$280,000
Gain Capital Group, LLCStoneX Groupinvestor protection violation2020CFTC$300,000
Stonex Group Inc.StoneX Groupbenefit plan administrator violation2023EBSA$10,001
StoneX Markets LLCStoneX Groupinvestor protection violation2023CFTC$650,000
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2015SEC$500,000
Stifel Nicolaus & Co.Stifel Financialinvestor protection violation2014SEC$60,000
Thomas Weisel Partners LLCStifel Financialinvestor protection violation2004SEC$12,500,000
Stifel, Nicolaus & Co., Inc.Stifel Financialinvestor protection violation2016SEC$24,500,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2017SEC$300,000
Stifel and Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2019SEC$6,037,175
Stifel, Nicolaus & Co., Inc.Stifel Financialinvestor protection violation2019SEC$2,700,000
Thomas Weisel Partners LLCStifel Financialinvestor protection violation2006CT-SEC$52,480
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2011IL-SEC$80,224
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2010MO-SEC$211,617
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2012MO-SEC$1,101,385
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2017MS-SEC$50,000
Stifel, Nicolaus & Company Inc.Stifel Financialinvestor protection violation2014NE-DBF$61,000
Stifel Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2010NJ-BOS$5,415,381
Stifel, Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2009MULTI-FIN$525,000
Thomas Weisel Partners LLCStifel Financialinvestor protection violation2005MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $5,000,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialinvestor protection violation2020FINRA$3,650,000
Stifel Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2015FINRA$2,900,000
Stifel Financial CorporationStifel Financialinvestor protection violation2014FINRA$1,025,000
Thomas Weisel Partners, LLCStifel Financialinvestor protection violation2008FINRA$200,000
Thomas Weisel PartnersStifel Financialinvestor protection violation2005FINRA$1,750,000
Stifel Nicolaus & CompanyStifel Financialinvestor protection violation2004FINRA$125,000
Stifel, Nicolaus & Company, Inc.Stifel Financialinvestor protection violation2001FINRA$225,000
STIFEL, NICOLAUS & COMPANY, INC.Stifel Financialinvestor protection violation2023MA-SEC$2,500,000
Stewart Title Company of CaliforniaStewart Information Servicesconsumer protection violation2002CA-AG$2,500,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2013AR-INS$10,000
Stewart Title of California, Inc.Stewart Information Servicesinsurance violation2005CA-INS$750,000
Stewart Title Guaranty Co. and Electronic Closing Services, Inc. dba E-TitleStewart Information Servicesinsurance violation2007CA-INS$1,500,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2007CA-INS$1,000,400
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2000CO-INS$25,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2007CO-INS$50,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2012CO-INS$70,400
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2010FL-OFR$165,000
Stewart Title Co.Stewart Information Servicesinsurance violation2015IN-INS$59,400
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2014MD-INS$18,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2006MN-FIN$5,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2015MN-FIN$17,500
Stewart Title Guarantee Co.Stewart Information Servicesinsurance violation2006MO-INS$75,087
Stewart Title Guarantee Co.Stewart Information Servicesinsurance violation2012MO-INS$128,000
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2009OR-FIN$30,000
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2009TX-INS$55,000
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2010TX-INS$525,418
Stewart Title CompanyStewart Information Servicesinsurance violation2015TX-INS$50,000
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2019WA-INS$10,050
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2010WI-INS$7,500
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2020CT-INS$47,000
Stewart Title Guaranty Co.Stewart Information Servicesinsurance violation2020MO-INS$100,000
Stewart Title Guaranty CompanyStewart Information Servicesinsurance violation2022MD-INS$123,105
Stewart Title Guaranty CorporationStewart Information Servicesprice-fixing or anti-competitive practices2022NY-AG$2,500,000
Stewart Title CompanyStewart Information Servicesinsurance violation2023IN-INS$6,570
State Street Bank and Trust CompanyState Street Corp.investor protection violation2016SEC$382,400,000
State Street Bank and Trust CompanyState Street Corp.illicit political contributions2016SEC$12,000,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2010SEC$313,300,000
State Street Bank & Trust CoState Street Corp.economic sanction violation2003OFAC$22,000
State Street CorporationState Street Corp.fraud2017DOJ_CRIMINAL$32,300,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2017SEC$35,300,000
State Street CorporationState Street Corp.employment discrimination2017OFCCP$4,492,174
State Street CorporationState Street Corp.benefit plan administrator violation2014private lawsuit-federal$10,000,000
State Street Bank And Trust Co.State Street Corp.benefit plan administrator violation2010private lawsuit-federal$89,750,000
State Street CorporationState Street Corp.benefit plan administrator violation2016private lawsuit-federal$60,000,000
State Street BankState Street Corp.investor protection violation2010WA-AG$11,700,000
State Street Bank & Trust Co.State Street Corp.investor protection violation2010MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $300,000,000
State Street Bank and Trust Co.State Street Corp.investor protection violation2016MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,500,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2019SEC$88,780,000
State Street Corp.State Street Corp.consumer protection violation2019MA-AG$53,500,000
State Street Global AdvisorsState Street Corp.investor protection violation2012MA-SEC$5,000,000
State Street Bank and Trust CompanyState Street Corp.investor protection violation2018NH-BSR$325,000
State Street Global Markets LLCState Street Corp.investor protection violation2005FINRA$1,400,000
State Street CorporationState Street Corp.fraud2021USAO$115,000,000
State Street Bank and Trust Co.State Street Corp.consumer protection violation2012private lawsuit-federal$6,250,000
State Farm Mutual Automobile Insurance CompanState Farm InsuranceFamily and Medical Leave Act2010WHD$27,787
State FarmState Farm Insurancewage and hour violation2013private lawsuit-federal$5,000,000
State FarmState Farm Insurancewage and hour violation2005private lawsuit-state$135,000,000
State FarmState Farm Insuranceconsumer protection violation2008MS-AG$74,000,000
State FarmState Farm Insuranceconsumer protection violation2000TX-AG$3,100,000
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2017MULTI-AG$250,000
State Farm Mutual Automobile Insurance Co.State Farm Insuranceconsumer protection violation2005TX-AG$10,000,000
State Farm Mutual Insurance CompanyState Farm Insuranceconsumer protection violation2005MULTI-AG$41,000,000
State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2003CA-INS$250,000
State FarmState Farm Insuranceinsurance violation2017CA-INS$13,335,701
State Farm Fire & Casualty Co.State Farm Insuranceinsurance violation2012DE-INS$150,000
State Farm Fire & Casualty Insurance Co. and State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2016DE-INS$28,000
State Farm Fire & Casualty Co. and State Farm Mutual Automobile Insurance Co.State Farm Insuranceinsurance violation2018DE-INS$24,000
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2019DE-INS$18,000
State Farm Florida Insurance Co.State Farm Insuranceinsurance violation2005FL-OFR$5,000
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2008FL-OFR$10,500
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2010FL-OFR$10,500
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2012FL-OFR$10,500
State Farm Life Insurance Co.State Farm Insuranceinsurance violation2014FL-OFR$10,500
State Farm Mutual Automobile Insurance Co. and State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2011IL-INS$50,000
State Farm Mutual Automobile Insurance Co. et al.State Farm Insuranceinsurance violation2009IN-INS$275,000
State Farm Fire and Casualty Co.State Farm Insuranceinsurance violation2015KS-INS$10,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.